Laszlo B. Torzsok
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Laszlo Batthyany Torzsok JR, who also goes by Laszlo Batthyana Torzsok Jr, Laszlo Batthyany Torzsok, Les Torzsok, was a registered financial advisor .
Laszlo is a previously registered financial advisor and started their career in finance in 1974. Laszlo had worked at 10 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2009 - September 22, 2011
FINTEGRA, LLC
March 2, 2009 - September 22, 2011
FINTEGRA, LLC
June 28, 2006 - March 5, 2009
SANDERS MORRIS LLC
January 17, 2006 - December 31, 2006
SMH CAPITAL ADVISORS LLC
January 17, 2006 - March 5, 2009
SANDERS MORRIS LLC
March 23, 2001 - January 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2001 - January 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2001 - March 26, 2001
LEHMAN BROTHERS INC.
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
August 6, 1987 - July 1, 1998
FINANCIAL SQUARE PARTNERS
May 19, 1978 - August 3, 1987
KIDDER, PEABODY & CO. INCORPORATED
May 26, 1977 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
January 1, 1974 - June 17, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 12/19/1973
Registered Representative ExaminationCurrent Firm
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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